Securities and Exchange Commission April 2006 – Federal Register Recent Federal Regulation Documents

Results 51 - 100 of 136
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Modify Order Delivery Charges for Orders Delivered to Nasdaq Market Center Participants
Document Number: E6-5855
Type: Notice
Date: 2006-04-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/19/E6-5855.html
Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Amend the Fees Related to Off-Floor Traders
Document Number: E6-5854
Type: Notice
Date: 2006-04-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/19/E6-5854.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change and Amendments Nos. 1 and 2 Thereto Relating to Restrictions on Arbitrators serving on CBOE's Arbitration Committee
Document Number: E6-5853
Type: Notice
Date: 2006-04-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/19/E6-5853.html
Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change and Amendments No. 2 and 3 Thereto Relating to the Establishment of a New Class of Registered Options Trader Called a Supplemental Registered Options Trader (“SROT”)
Document Number: E6-5800
Type: Notice
Date: 2006-04-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/19/E6-5800.html
Order Regarding Review of Financial Accounting Standards Board Accounting Support Fee for 2006 Under Section 109 of The Sarbanes-Oxley Act of 2002
Document Number: E6-5798
Type: Notice
Date: 2006-04-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/19/E6-5798.html
Proposed Collection; Comment Request
Document Number: E6-5797
Type: Notice
Date: 2006-04-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/19/E6-5797.html
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2006
Document Number: E6-5796
Type: Notice
Date: 2006-04-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/19/E6-5796.html
Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Regulatory Fees
Document Number: E6-5794
Type: Notice
Date: 2006-04-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/19/E6-5794.html
Special Value Opportunities Fund, LLC, et al.; Notice of Application
Document Number: E6-5709
Type: Notice
Date: 2006-04-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/18/E6-5709.html
Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Non-ISE Market Maker Orders
Document Number: E6-5708
Type: Notice
Date: 2006-04-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/18/E6-5708.html
Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of the Plan for Allocation of Regulatory Responsibilities Between The NASDAQ Stock Market LLC and the National Association of Securities Dealers, Inc.
Document Number: E6-5693
Type: Notice
Date: 2006-04-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5693.html
Submission for OMB Review; Comment Request
Document Number: E6-5689
Type: Notice
Date: 2006-04-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5689.html
Submission for OMB Review; Comment Request
Document Number: E6-5685
Type: Notice
Date: 2006-04-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5685.html
Submission for OMB Review; Comment Requested
Document Number: E6-5684
Type: Notice
Date: 2006-04-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5684.html
Submission for OMB Review; Comment Request
Document Number: E6-5682
Type: Notice
Date: 2006-04-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5682.html
Submission for OMB Review; Comment Request
Document Number: E6-5680
Type: Notice
Date: 2006-04-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5680.html
Submitted for OMB Review; Comment Request
Document Number: E6-5676
Type: Notice
Date: 2006-04-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5676.html
Submission for OMB Review; Comment Request
Document Number: E6-5674
Type: Notice
Date: 2006-04-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5674.html
Submissions for OMB Review; Comment Request
Document Number: E6-5672
Type: Notice
Date: 2006-04-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5672.html
Submission for OMB Review; Comment Request
Document Number: E6-5670
Type: Notice
Date: 2006-04-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5670.html
Self-Regulatory Organizations; Order Approving Minor Rule Violation Plan for The NASDAQ Stock Market LLC
Document Number: E6-5653
Type: Notice
Date: 2006-04-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5653.html
Self-Regulatory Organizations; Board of Trade of the City of Chicago, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Customer Margin Requirements for Security Futures
Document Number: E6-5650
Type: Notice
Date: 2006-04-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5650.html
Submission for OMB Review; Comment Request
Document Number: E6-5648
Type: Notice
Date: 2006-04-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5648.html
Self-Regulatory Organizations; Board of Trade of the City of Chicago, Inc.; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to Security Futures Market Maker Registration Policy and Procedures
Document Number: E6-5611
Type: Notice
Date: 2006-04-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5611.html
Self-Regulatory Organizations; Pacific Exchange, Inc. (n/k/a NYSE Arca, Inc.); Order Granting Approval of Proposed Rule Change Relating to Clearly Erroneous Executions
Document Number: E6-5609
Type: Notice
Date: 2006-04-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5609.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Fee for the Brut Workstation
Document Number: E6-5549
Type: Notice
Date: 2006-04-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/14/E6-5549.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto To List for Trading Options on the iShares MSCI Emerging Markets Index Fund
Document Number: E6-5548
Type: Notice
Date: 2006-04-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/14/E6-5548.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Relating to Restated Articles of Incorporation and By-Laws
Document Number: E6-5529
Type: Notice
Date: 2006-04-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/14/E6-5529.html
Sunshine Act Meeting Notice
Document Number: 06-3652
Type: Notice
Date: 2006-04-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/14/06-3652.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Nasdaq Market Center
Document Number: 06-3341
Type: Notice
Date: 2006-04-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/14/06-3341.html
Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and 2 Thereto To Change the Names of the Pacific Exchange, Inc., PCX Equities, Inc., PCX Holdings, Inc., and the Archipelago Exchange, L.L.C.
Document Number: E6-5486
Type: Notice
Date: 2006-04-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/13/E6-5486.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Brokers Executing as Principal Orders They Represent as Agent
Document Number: E6-5485
Type: Notice
Date: 2006-04-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/13/E6-5485.html
Van Eck Associates Corporation, et al.; Notice of Application
Document Number: E6-5483
Type: Notice
Date: 2006-04-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/13/E6-5483.html
Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Modify the Boston Options Exchange's Fee Schedule To Impose Surcharge Fees for Transactions in Options on ETFs on a Retroactive Basis
Document Number: E6-5482
Type: Notice
Date: 2006-04-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/13/E6-5482.html
Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees on the Russell 1000 Index
Document Number: E6-5480
Type: Notice
Date: 2006-04-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/13/E6-5480.html
Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Amendments to the Exchange's Allocation Policy and Procedures (NYSE Rules 103A, 103B, 123E and 476A)
Document Number: E6-5368
Type: Notice
Date: 2006-04-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/12/E6-5368.html
Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Orders Marked Sell Short Entered Before the Opening
Document Number: E6-5367
Type: Notice
Date: 2006-04-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/12/E6-5367.html
Self-Regulatory Organizations; NYSE Acra, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Exchange Fees and Charges
Document Number: E6-5366
Type: Notice
Date: 2006-04-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/12/E6-5366.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Permanent Approval of a Pilot Program Relating to Access to the Exchange's Hybrid Automatic Execution System
Document Number: E6-5365
Type: Notice
Date: 2006-04-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/12/E6-5365.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change To Allow Nasdaq To Take Certain Actions on Behalf of Its Issuers in Connection With Nasdaq's Transition to a National Securities Exchange
Document Number: E6-5364
Type: Notice
Date: 2006-04-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/12/E6-5364.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to the Prohibition of Trade Shredding by Members
Document Number: E6-5363
Type: Notice
Date: 2006-04-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/12/E6-5363.html
Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Registration Filing Requirements and Reporting Requirements
Document Number: E6-5362
Type: Notice
Date: 2006-04-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/12/E6-5362.html
Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold the following meeting during the week of April 10, 2006:
Document Number: 06-3544
Type: Notice
Date: 2006-04-12
Agency: Sunshine Act Meeting Notice, Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/12/06-3544.html
John Hancock Trust et al.; Notice of Application
Document Number: E6-5245
Type: Notice
Date: 2006-04-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/11/E6-5245.html
Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto To Amend NYSE Rule 619 To Clarify That Failure To Appear or Produce Documents in Arbitration May Be Deemed Conduct Inconsistent With Just and Equitable Principles of Trade
Document Number: E6-5244
Type: Notice
Date: 2006-04-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/11/E6-5244.html
Self-Regulatory Organizations: National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 thereto to Establish New NASD Rule 2290 Regarding Fairness Opinions
Document Number: E6-5237
Type: Notice
Date: 2006-04-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/11/E6-5237.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Short Sale Delivery Requirements
Document Number: E6-5236
Type: Notice
Date: 2006-04-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/11/E6-5236.html
In the Matter of Golden Apple Oil and Gas, Inc.; Order of Suspension of Trading
Document Number: 06-3485
Type: Notice
Date: 2006-04-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/11/06-3485.html
In the Matter of KSW Industries, Inc.; Order of Suspension of Trading
Document Number: 06-3484
Type: Notice
Date: 2006-04-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/11/06-3484.html
The Travelers Insurance Company, et al. and MetLife Investors Insurance Company, et al.
Document Number: 06-3318
Type: Notice
Date: 2006-04-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/04/11/06-3318.html
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